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Search Results: failure to supervise
Results 20-30 of about 137
Date: December 29, 2024
In her FINRA arbitration claim, our retiree client is alleging unsuitable investment recommendations, misrepresentations and omissions, failure to supervise, negligence, and more. She is requesting up to $500K in damages. Continue Reading ›
Date: September 26, 2024
Are You An Investor Who Suffered Losses Because of Broker-Dealer Supervisory Failures?
Date: September 13, 2024
Raymond James To Pay $1.8M Fine Over Purported Mutual Fund Monitoring Failures Potentially Unsuitable Mutual Fund Switching May Have Caused Excessive Sales Fees, Commissions Raymond James Financial Services and Raymond James & Associates, which are both Raymond James Financial Inc. ...
Date: May 19, 2024
In the broker fraud claim, the estate is alleging best interest violations, unsuitable investment recommendations, misrepresentations and omissions, breach of contract, breach of fiduciary duty, negligence, failure to supervise, and more.
Date: October 25, 2023
Seeking up to $500K in damages, our client is also alleging unsuitable investment recommendations, due diligence failures, misrepresentations and omissions, and gross lack of supervision. Continue Reading ›
Date: September 18, 2023
While Oppenheimer does not appear to have been directly involved in the fraud, run by its ex-broker John Woods in Georgia, there appear to be grounds for suing the broker-dealer for its purported gross negligence and failure to properly supervise ...
Date: August 8, 2023
When Failure To Supervise Enables Broker Theft LPL Financial Fined $3M After Its Financial Advisors Steal From 13 Customers If your broker-dealer failed to identify and investigate red flags indicating possible misconduct or fraud by your financial advisor you may ...
Date: November 8, 2022
When Failure To Supervise Enables Broker Fraud Texas Retirees Whose Financial Advisor Stole Their Savings File FINRA Arbitration Claim Against Planmember Securities As their customer, your broker-dealer has a fiduciary duty to properly supervise your accounts and your financial advisor’s ...
Date: August 27, 2022
State Securities Regulator Seeks to Ban Former Capital Planning Group Investment Adviser Massachusetts securities regulator William Galvin has fined MassMutual broker-dealer subsidiary MML Investors Services $250K for its alleged failure to supervise its former registered representative Charles Jonathan Evan.
Date: July 26, 2021
It must now pay a $160K fine and over $370K in restitution for its failure to supervise certain financial products, including leveraged and inverse exchange-traded funds (ETFs), and its brokers’ external activities.
